Comarm has a team of experts who can update and edit your firm’s policies and procedures, or create and customize account documentation tailored to your business.
Policies, Procedures, and Forms
Policies, Procedures, and Forms
Some examples of the policies and procedures we have experience in developing include:
- Compliance Manual
- Branch Manager’s Supervision Guide
- Options Supervision
- Anti-Money Laundering (AML)
- Client Complaint Handling
- Branch Audit Programs
- Trade Desk Surveillance
- Managed Accounts and Fee-Based Accounts
- Conflicts of Interest
- Privacy policy
- Relationship Disclosure Document
- New Account Application Forms and supporting documentation